J.P. Morgan Tokenizes PE Fund on Blockchain for Private Bank Clients ...

The Financial Industry Regulatory Authority has barred a financial advisor fired by Raymond James earlier this year amid allegations of misuse of client funds.

JPMorgan Chase Chief Executive Officer Jamie Dimon, long a vocal critic of staff working remotely, is again stressing the need for employees, particularly those starting out in the industry, to work ...

Democratic senators including Bernie Sanders of Vermont and Elizabeth Warren of Massachusetts are calling on the Securities and Exchange Commission and the Department of Labor to explain how they plan ...

Morgan Stanley said it's bolstering its wealth management clients' access to private market investments with the planned acquisition of private company trading platform EquityZen, according to news ...

Wells Fargo continues laying off staff in Oregon, most recently disclosing plans to slash hundreds of jobs in Hillsboro, Salem and Portland, according to local news reports.

More financial advisors are having estate planning conversations with their clients, aided by technological advances including artificial intelligence–powered platforms that have digitized many ...

Three former Morgan Stanley financial advisors have asked a court to set aside a recent Department of Labor advisory opinion that called the wirehouse's deferred-compensation plan a bonus program ...

UBS Group executives nodded to continued financial advisor attrition that has resulted in billions of dollars in outflows but kept an overall optimistic tone on the firm's third-quarter earnings call ...

Osaic claims that the former Primerica financial advisor who recently launched his own independent practice on Osaic's platform has not done anything wrong.

Citigroup 's investigation of complaints about the behavior of its head of wealth management Andy Sieg was wrapped up without interviewing key figures who raised concerns, according to The Financial ...

For advisors, fee-based planning also offers something valuable: steadier and more predictable revenue. Commission-based models can mean uneven revenue depending on market cycles or product sales. But ...